We are seeking a Vice President of Compliance to oversee the firm's regulatory compliance program, ensure compliance accuracy, regulatory adherence, and operational scalability across the Company. The ideal candidate brings deep experience in RIA compliance, combined with a strategic mindset to support a multi-entity growth strategy.
Requirements
- 5+ years of compliance experience, with meaningful time at an SEC-registered RIA or in an RIA-focused regulatory/consulting role
- Experience interfacing directly with the SEC, whether through routine examinations, deficiency responses, or ongoing regulatory dialogue
- Strong working knowledge of Form ADV preparation, including multi-entity filings and material change amendments triggered by acquisitions
- Demonstrated experience building or significantly scaling a compliance function within a fast-growing and/or multi-practice RIA environment, including hands-on experience with M&A compliance integration
- Proficiency with compliance technology platforms and a track record of leading systems implementations
- Excellent leadership and a builder mentality – comfortable with ambiguity, able to create structure where little exists previously, and energized by a fast-moving environment
Benefits
- Highly competitive compensation consisting of base salary, an annual performance bonus, and equity ownership
